-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HcrAkrhSTABv/tsKueo+87sabsBw8TAhIARpWJMwnaATTZIXA1QlgALIHawA8cSf R8aZ/KpUdlT7t2DvQf+JKA== 0001175735-04-000007.txt : 20040217 0001175735-04-000007.hdr.sgml : 20040216 20040217153441 ACCESSION NUMBER: 0001175735-04-000007 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AXSYS TECHNOLOGIES INC CENTRAL INDEX KEY: 0000206030 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 111962029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-32228 FILM NUMBER: 04608268 BUSINESS ADDRESS: STREET 1: 175 CAPITAL BLVD SUITE 103 CITY: ROCKY HILL STATE: CT ZIP: 06067 BUSINESS PHONE: 2018711500 MAIL ADDRESS: STREET 1: 175 CAPITAL BLVD SUITE 103 CITY: ROCKY HILL STATE: CT ZIP: 06067 FORMER COMPANY: FORMER CONFORMED NAME: VERNITRON CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALBERT FRIED & CO LLC CENTRAL INDEX KEY: 0001175735 IRS NUMBER: 135089432 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 60 BROAD STREET CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2124227282 MAIL ADDRESS: STREET 1: 60 BROAD STREET 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 SC 13G/A 1 axys13ga2004a.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* AXSYS TECHNOLOGIES, Inc. - ----------------------------------------------------------------- (Name of Issuer) COMMON STOCK; $0.01 Par Value - ----------------------------------------------------------------- (Title of Class of Securities) 054615109 - ----------------------------------------------------------------- (CUSIP Number) December 31, 2003 - ----------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: | X | Rule 13d-1(b) | X | Rule 13d-1(c) | _ | Rule 13d-1(d) CUSIP Number: 054615109 1) NAME OF REPORTING PERSON ALBERT FRIED & COMPANY, LLC 13-5089432 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) | | (b) | X | 3) SEC USE ONLY 4) CITIZEN OR PLACE OF ORGANIZATION LLC organized in New York 5) SOLE VOTING POWER 475,143 6) SHARED VOTING POWER None 7) SOLE DISPOSITIVE POWER 475,143 8) SHARED DISPOSITIVE POWER NONE 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 522,280 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 11.20 % 12) TYPE OF REPORTING PERSON BD *Albert Fried & Company, LLC (AF&Co), an NASD Member firm, is a market maker (dealer) in the Issuers common stock. Certain securities reported herein are held by AF&Co in its dealer (market-making) account. The dealer inventory is acquired and disposed of in the ordinary course of business and incident to the establishment of a primary or secondary market for such security in accordance with Section 16(d) of the Securities Exchange Act of 1934. As of February 11, 2004, 69,016 shares were held in the market making account. CUSIP Number: 054615109 1) NAME OF REPORTING PERSON ALBERT FRIED JR. 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) | | (b) | X | 3) SEC USE ONLY 4) CITIZEN OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA 5) SOLE VOTING POWER 47,137 6) SHARED VOTING POWER 522,280 7) SOLE DISPOSITIVE POWER 47,137 8) SHARED DISPOSITIVE POWER 475,143 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 522,280 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 11.20 % 12) TYPE OF REPORTING PERSON IN Albert Fried Jr., as the managing member of Albert Fried & Company, LLC.(AF&Co), may be deemed the beneficial owner of the shares reported herein by AF&Co. Accordingly, these shares reported herein by Albert Fried Jr. include those shares separately reported herein by AF&Co. Mr. Fried disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, any beneficial ownership of shares held by AF&Co in its market-maker (dealer) account, except to the extent of his indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Fried is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. AF&Co is a market maker (dealer) in the Issuers common stock, acquiring and disposing of the Issuers stock in the ordinary course of business and incident to the establishment of a secondary market for such security in accordance with Section 16(d) of the Securities Exchange Act of 1934. ITEM 1(a) NAME OF ISSUER: AXSYS TECHNOLOGIES, INC. ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 175 Capital Boulevard, Suite 103 Rocky Hill, Connecticut 06067 ITEM 2(a) NAME OF PERSON FILING: Albert Fried & Company, LLC. (The members of Albert Fried & Company, LLC are Albert Fried Jr., Anthony Katsingris, Christina E. Fried and The Fried Group) Albert Fried Jr. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 60 Broad Street; 39th Floor New York, NY 10004 ITEM 2(c) CITIZENSHIP: Please refer to Item 4 on each cover sheet for each filing person. ITEM 2(d) TITLE OF CLASS OF SECURITIES: COMMON STOCK, $0.01 Par Value ITEM 2(e) CUSIP NUMBER: 054615109 ITEM 3: STATEMENT IS FILED AS A GROUP IN PURSUANT TO RULE 13d-1(b): Please see Items 5-9 and 11 for each cover sheet for each filing separately. ITEM 4: OWNERSHIP Please see Items 5-9 and 11 for each cover sheet for each filing separately. 4(a) AMOUNT BENEFICIALLY OWNED: 522,280 SHARES 4(b) PERCENT OF CLASS: 11.20%** **Please see Items 5-9 and 11 and footnotes for each cover sheet for each filing separately ITEM 5 OWNERSHIP OF LESS THAN FIVE PERCENT OF A CLASS: NOT APPLICABLE ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: NOT APPLICABLE ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: NOT APPLICABLE ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: BD- Albert Fried & Company, LLC, an NASD Member Firm. IN- Albert Fried Jr., managing member of Albert Fried & Co. ITEM 9 NOTICE OF DISSOLUTION OF GROUP: NOT APPLICABLE ITEM 10 CERTIFICATION: Certification filed pursuant to Section 13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. DATE: February 11, 2004 ALBERT FRIED & COMPANY, LLC. By /s/ Albert Fried, Jr. ---------------------- Name: Albert Fried, Jr Title: Managing Member Certification filed pursuant to Section 13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acqired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. DATE: February 11, 2004 ALBERT FRIED JR. By /s/ Albert Fried, Jr. ---------------------- Name: Albert Fried, Jr TEXT DOCUMENT SUBMISSION -----END PRIVACY-ENHANCED MESSAGE-----